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Rockefeller Financial LLC CRD 291361
$99.6B regulatory AUM 223 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-06-23 |
Branch Locations
5355 Town Center Rd Floor 6, Boca Raton, FL 33486 • United States
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Boca Raton | FL | 06/2009 | 09/2019 |
| Wells Fargo Clearing Services, Llc | Boca Raton | FL | 09/2019 | 08/2020 |
| Rockefeller Financial Llc | Boca Raton | FL | 12/2020 | Present |
| Unemployed | Boca Raton | FL | 08/2020 | 12/2020 |
1. ANCA COMPANY, INV RELATED, WATERBURY, CT, 11.11% OWNERSHIP, START 4/2/2019, ZERO HOURS PER MONTH, ZERO DURING TRADING, HOLDS PROPERTY. 2. VANCA COMPANY, INV RELATED, MILFORD, CT, 6.66% OWNERSHIP, START 4/2/2018, ZERO HOURS PER MONTH, ZERO DURING TRADING, HOLDS FAMILY OWNED BEACH HOUSE.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-11-13 |
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